Compliance Manager

Confluence Technologies; United States; On-site; USD 90,000 - 130,000; Full time

Benefits offered by this job

Fully remote

Exposure to multiple funds

Client exposure

Job summary

Confluence Technologies, Inc. is seeking a Compliance Manager to join our Compliance Services team in the United States, offering fully remote work with Central & Eastern Time preferences. You will manage regulatory filings, testing, surveillance, and ethics programs across investment adviser and broker-dealer clients.

You will collaborate with a global organization, delivering high-quality compliance support and guidance while handling multiple engagements simultaneously.

Qualifications

• 3+ years of compliance experience within the investment management industry.
• Experience preparing regulatory filings through IARD, EDGAR, FINRA Gateway and/or CRD.
• Hands-on experience with Form ADV, Form 13F, Form U4 and Form U5 filings.
• Investment adviser compliance experience.
• Experience with Code of Ethics administration, electronic communications surveillance and/or compliance monitoring.
• Strong Excel, data management and analytical skills.
• Excellent written and verbal communication skills.
• Strong attention to detail and organisational skills.
• Ability to manage multiple priorities and client deliverables.
• Proactive, self-sufficient approach to work.
• Bachelor's degree or equivalent experience.

Responsibilities

• Prepare and support regulatory filings (e.g., Form ADV, 13F, U4, U5).
• Conduct electronic communications reviews and surveillance.
• Support compliance testing and programme reviews.
• Administer and test Code of Ethics programmes.
• Manage recurring regulatory deadlines and client deliverables.
• Utilise compliance technology to support monitoring.
• Work directly with clients to provide high-quality compliance guidance.
• Manage multiple client engagements with accuracy and service.

Skills

Regulatory compliance

Regulatory filings

Excel & data analysis

Written communication

Time management

Client engagement

Education

Bachelor's degree

Tools

ACM

Hadrius

Greenboard

Job description

Compliance Manager

Department: Compliance Services

Employment Type: Permanent - Full Time

Location: United States

Reporting To: Erick Aguayo

Description

Location - US Remote (Central & Eastern Time Zones Preferred)

Why Confluence?

At Confluence, we've always been driven by a commitment to innovation, precision, and partnership in the investment data space. Our global footprint now spans multiple countries, giving our employees the opportunity to get exposure to other countries and cultures. And it stands to reason that none of this would have been possible without the hundreds of hard-working employees who work at Confluence.

More about the role & team

We're looking for a Compliance Manager to join our specialist Compliance Services team. This is an opportunity to work across a diverse portfolio of investment adviser, broker-dealer and private fund clients, supporting critical compliance activities and helping organisations navigate complex regulatory requirements.

You’ll become part of a close-knit, highly collaborative team while benefiting from the resources, stability and opportunities that come with being part of a larger global organisation.

As a Compliance Manager, you will play a key role in delivering compliance services to clients across the investment management industry. Your responsibilities will include:

• Preparing and supporting regulatory filings, including Form ADV, Form 13F, Form U4 and Form U5 filings.
• Conducting electronic communications reviews and surveillance activities.
• Supporting compliance testing and compliance programme reviews.
• Administering and testing Code of Ethics programmes.
• Managing recurring regulatory deadlines and client deliverables.
• Utilising compliance technology solutions to support monitoring and programme administration.
• Working directly with clients to deliver high-quality compliance support and guidance.
• Managing multiple client engagements simultaneously while maintaining exceptional standards of accuracy and service.

What skills and experience do I need to succeed?

Essential Requirements

• 3+ years of compliance experience within the investment management industry.
• Experience preparing regulatory filings through IARD, EDGAR, FINRA Gateway and/or CRD.
• Hands-on experience with Form ADV, Form 13F, Form U4 and Form U5 filings.
• Investment adviser compliance experience.
• Experience with Code of Ethics administration, electronic communications surveillance and/or compliance monitoring.
• Strong Excel, data management and analytical skills.
• Excellent written and verbal communication skills.
• Strong attention to detail and organisational skills.
• Ability to manage multiple priorities and client deliverables.
• Proactive, self-sufficient approach to work.
• Bachelor's degree or equivalent experience.

• Broker-dealer compliance experience.
• Experience supporting private fund advisers or registered investment companies.
• Compliance consulting experience.
• Experience gained within an investment adviser, wealth manager, broker-dealer or custodian adviser.
• Familiarity with ACM, Hadrius, Greenboard or similar compliance monitoring systems.
• Experience with electronic communication retention and monitoring solutions.
• Industry certifications such as IACCP, CRCP, ACAMS, Series 7, Series 24 or Series 65.

This role offers a unique opportunity to broaden your compliance expertise while working across a variety of client engagements.

Benefits of the role include:

• Fully remote working environment.
• Exposure to investment advisers, broker-dealers, private funds and registered funds.
• A varied workload spanning regulatory filings, compliance testing, surveillance and risk assessments.
• Opportunity to develop expertise using compliance technology solutions.
• Significant client exposure and visibility.